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MG

Mustafa Z. Ghafoor

SOLOMON PARTNERS SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6478545
MG

Professional summary

Mustafa Z Ghafoor, who also goes by Mustafa Zubair Ghafoor, Mustafa Z Ghafoor, Mustafa Z. Ghafoor, is a registered financial professional currently at SOLOMON PARTNERS SECURITIES, LLC located in Chicago, Illinois.

Mustafa is registered as a RR (Registered Representative) and started their career in finance in 2015. Mustafa has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mustafa Zubair Ghafoor | Mustafa Z Ghafoor | Mustafa Z. Ghafoor

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mustafa Z Ghafoor's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 14, 2023 - Present

SOLOMON PARTNERS SECURITIES, LLC

Office #1: 10 South Wacker Drive Suite 3540, Chicago, IL 60606
BD
CRD#: 28041
Chicago, IL
Past

October 18, 2021 - October 27, 2023

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHICAGO, IL
Past

January 7, 2016 - July 5, 2018

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHICAGO, IL
Past

May 19, 2015 - January 8, 2016

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(11/14/2023)
RR
New York
(11/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/16/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/19/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SP
SOLOMON PARTNERS SECURITIES, LLC
PETER J. SOLOMON SECURITIES COMPANY LIMITED | SOLOMON PARTNERS SECURITIES, LLC | PJ SOLOMON SECURITIES, LLC | PETER J. SOLOMON SECURITIES COMPANY, LLC

CRD#: 28041 / SEC#: , 8-43369

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1251 Avenue Of Americas 32nd Floor, New York, NY 10020
Mailing Address
1251 Avenue Of Americas 32nd Floor, New York, NY 10020
Phone number
(212) 508-1600
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SOLOMON PARTNERS, L.P.MEMBER
BARONOFF, KENNETH DAVIDVICE CHAIRMAN2215563
COOPER, MARC SETHCHIEF EXECUTIVE OFFICER1338324
HENDERSON, STUART ROBERTFINOP1121476
MACK, CATHLEEN COLECHIEF COMPLIANCE OFFICER3171923
SOLOMON, PETER JAYCHAIRMAN430399

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SOLOMON PARTNERS SECURITIES, LLC

CRD#: 28041Chicago, IL 60606

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